證券業監管趨勢回顧 (2018)

證券業監管趨勢回顧 (2018)

滿座

概要

本課程旨在通過討論和分析自2008年雷曼兄弟迷你債券問題以來的一些重大監管案例,以闡述監管趨勢的最新發展。

修畢課程後,學員將能夠:
1. 說出監管機構關注的監管問題
2. 說出個案相關的潛在監管問題
3. 描述處理潛在監控問題的可行方案

內容

1. 自2008年雷曼兄弟迷你債券發行以來的監管案例分類
2. 指出有關監控的潛在問題
3. 討論處理上述情況的解決辦法
4. 討論可預見有關監管方面的憂慮

對象

課程主要針對高級金融服務和證券的從業員,學員應熟悉監管制度的最新發展。

導師/講者

周嘉亮
Mr. Chow is the Head of Risk, Legal & Compliance of a securities company in Hong Kong. He has more than 20 years of experience in securities compliance through his role at various international investment banks, the Compliance Division of the Stock Exchange of Hong Kong and the Enforcement Division of the Securities and Futures Commission.

Mr. Chow is a Fellow Member of the Association of Chartered Certified Accountants and the Hong Kong Institute of Certified Public Accountants, Member of the Hong Kong Securities and Investment Institute, and Member of the American Association of Certified Fraud Examiners. He is a Financial Reporting Review Panel Member of the Financial Reporting Council and a Panel Member of the Resolvability Review Tribunal.

詳情

活動編號
TPRCR18006401
日期及時間
2018年11月23日, 星期五 (6:30下午 - 9:00下午)
地點
香港證券及投資學會培訓中心
語言
廣東話
級別
Advanced
課程時數
SFC:2.50, PWMA:2.50
請選擇語言
ENG